Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Suess (Suess), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Suess recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $200,000.00 on August 19, 2025.
BREACH OF CONTRACT AND WARRANTIES, PROMISSORY ESTOPPEL, CONSUMER PROTECTION AND DECEPTIVE TRADE PRACTICES ACT, VIOLATION OF STATE SECURITIES STATUTES, COMMON LAW FRAUD, BREACH OF FIDUCIARY DUTY, NEGLIGENCE AND GROSS NEGLIGENCE, FINRA Conduct Rule 2010, FINRA Conduct Rule 2020, FINRA Conduct Rule 2090, FINRA Conduct Rule 2111, FINRA Conduct Rule 2210, FINRA Conduct Rule 3110, MISREPRESENTATION/OMMISSION AND NEGLIGENT MISREPRESENTATION/OMISSION, UNJUST ENRICHMENT, COMMON LAW, STATUTORY CLAIMS AND DAMAGES, and VICARIOUS & CONTROL PERSON LIABILITY